Sumitomo Mitsui Banking Corporation, London Branch

• Principal Place of Business

  100 Liverpool Street

  London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +442045071000

  Web

  https://www.smbcgroup.com/emea/home/

• Complaints Contact

  100 Liverpool Street

  London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +4402045071000

• Bank Deposits

  For Eligible Counterparty, Professional, Retail (Investment), Deposit

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  • · The UK branch of the firm is limited to accepting retail deposits from small companies within the meaning of section 381 Companies Act 2006 only and then only up to the following specified limits. (1) Amount: No more than £100 million of transaction or instant access account balances covered by the FSCS; (2) Number of accounts: No more than 5,000 small company accounts. (3) Total potential liability to FSCS: Not to exceed £500 million.
  • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • · The firm is limited to accept wholesale deposits only

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

• Arranges Investments

  For Eligible Counterparty, Professional, Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Structured Deposits, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• ANNA MARIA DEYA

  IRN AMD01184

  • [FCA CF] Manager of certification employee (18 Oct 2023 to 4 Oct 2024)
  • [FCA CF] Client dealing (15 Dec 2017 to 9 Nov 2022)
• Aarti Sharma

  IRN AXS01547

  • [FCA CF] Significant management (since 23 Dec 2022)
  • [FCA CF] Manager of certification employee (since 23 Dec 2022)
  • [FCA CF] Material risk taker (since 23 Dec 2022)
  • [PRA CF] Significant risk taker or Material risk taker (since 23 Dec 2022)
• Adam Bouma

  IRN AXB00226

  • [FCA CF] Client dealing (since 12 Jan 2018)
  • [FCA CF] Manager of certification employee (since 12 Jan 2018)
• Adam Thackwray

  IRN AXT00091

  • [FCA CF] Manager of certification employee (9 Mar 2018 to 30 Sep 2025)
  • [FCA CF] Client dealing (30 Jan 2018 to 30 Sep 2025)
• Adrian Clulow

  IRN AXC00878

  • [PRA CF] Significant risk taker or Material risk taker (2 Sep 2022 to 7 Jan 2025)
  • [FCA CF] Material risk taker (2 Sep 2022 to 7 Jan 2025)
• Adrian Hajjar

  IRN AXH00770

  • [FCA CF] Client dealing (since 25 Sep 2024)
• Adriana Saler

  IRN AXS01727

  • [FCA CF] Client dealing (since 16 Mar 2023)
• Aeon Liang

  IRN AXL00647

  • [FCA CF] Client dealing (since 25 Jan 2024)
• Aglaia Vasileiou

  IRN AXV01296

  • [FCA CF] Client dealing (since 12 Mar 2025)
• Agnieszka Schirm

  IRN AXS00226

  • [FCA CF] Manager of certification employee (14 Feb 2020 to 1 Sep 2021)
  • [FCA CF] Client dealing (14 Feb 2020 to 1 Sep 2021)

No changes recorded yet.